Online via WebEx
October 27, 2020
10:00–11:30 a.m. ET
Please join Blank Rome Partners and Investment Management Group Co-Chairs Thomas R. Westle and Stacy H. Louizos, Janaya P. Moscony of SEC3 Compliance Consultants, and Maurice Tallini of Domini Impact Investments LLC, for an interactive discussion of pressing compliance topics and what CCOs need to know to do their jobs in the current business environment.
As part of this unique live webinar, the presenters will engage in a real-time conversation with the audience and address their compliance questions. Plus, Blank Rome Government Relations Principal and influential lobbyist Scott D. Hatch will provide a preview of the upcoming election’s potential impact on the investment management industry.
- Update on COVID-19-related compliance risks
- Preview of potential impact of the election
- SEC regulatory update
- Recent SEC exams
- Recent enforcement cases
MODERATOR & CO-HOST
- Thomas R. Westle, Partner & Co-Chair, Investment Management Group, Blank Rome
- Stacy H. Louizos, Partner & Co-Chair, Investment Management Group, Blank Rome
- Janaya P. Moscony, President, SEC3 Compliance Consultants
- Maurice Tallini, Chief Compliance Officer, Domini Impact Investments LLC
- Scott D. Hatch, Principal, Blank Rome Government Relations
This course is anticipated to qualify for the following CLE credits:
- CT – 1.0 general credit (by reciprocity)
- NJ – 1.0 general credit (by reciprocity)
- NY – 1.0 professional practice credit (appropriate for both newly admitted and experienced attorneys)
Please contact Bradley Mease.